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1 1. Work Plan & IV&V Methodology 1.1 Compass Solutions IV&V Approach The Compass Solutions Independent Verification and Validation approach is based on the Enterprise Performance Life Cycle (EPLC) framework developed by the Department of Health and Human Services (HHS). The goal of our approach is to ensure the end product is being developed in accordance with customer requirements and is well-engineered. Our approach is modeled in compliance with a framework that seeks to enhance Information Technology (IT) governance through rigorous application of sound investment and project management principles and industry s best practices. Compass Solutions will conduct detailed analysis and of Hardware, Software, processes, operating environment, interfacing applications, and documentation. Upon conclusion, Compass Solutions will: Verify that the product delivered to the State of Florida was Built Correctly Validate that the State of Florida received the right product based on its specification and requirements. The Compass EPLC approach has the following four pillars: Develop IV&V Plan Verify Product Compliance Test and Validate Functionality Conduct IV&V Project Review Define what needs to be verified and validated Define Metrics & measurements Define Roles and Responsibilities of Stakeholders Define Scope of documentation and reports Verify requirement specifications Verify design specifications Verify product code standards Verify terms, conditions, License, etc. Conduct Unit and Integration Testing Conduct Function Conduct System Conduct User acceptance Provide final report of all assessment Provide Summary recommendations prior conclusion Provide System Implement ongoing operational support Development of an IV&V plan This is the plan that defines what the IV&V engagement will accomplish, what will be reviewed and validated, what measurements are going to be used, what yardsticks will be used to measure success; what reports and documentations will be provided. Some components include: Definition and client approval of the scope of what needs to be verified and validated including processes, platforms, codes, interfaces, and operating environment Definition of Metrics & measurements what will constitute success, the threshold for corrections and reworks Definitions of Roles and Responsibilities of the IV&V Team, stakeholders and product delivery teams. What will be the communication method, frequency and contents? Definition of Scope of documentation and reports What reports will be developed, how detailed, what will be frequency and who would receive these. What actions are expected in response to the reports and documents produced? Page 1 of 5

2 At the planning phase, the IV&V team reviews all the project deliverables, including project plans and schedules, costs, the work breakdown structure (WBS), the configuration/change management (CM) plan, the quality control/assurance (QC/QA) plan, and data management plans, to determine whether they are realistic and can be implemented within the available resources and constraints. The team screens and cross-references all project deliverables against preliminary system requirements documents to detect such things as issues, shortfalls, errors, and discrepancies Verify Entrance/Exit Criteria One of the key responsibilities of our IV&V Team will be verifying the entrance and exit criteria for each software stage or iteration, at the beginning or end of a milestone or stage gate, and In Process Reviews. One of the exit criteria for each stage requires a plan for the successive stage, consequently, our IV&V Team will review this plan to ensure that it meets the entrance criteria for the next development stage. The IV&V Team will analyze the successive stages in the development for correctness, consistency, completeness (sufficient detail to show compliance), and accuracy. All activities must meet Florida information technology projects approved entrance/exit criteria before proceeding to the next activity Product Verification The verification process ensures that the product being developed correctly. The verification pillar determines whether products satisfy the defined requirements. Some product verification components include: Verification of requirement specifications Verification of design specifications Verification of product code standards Verification of terms, conditions, payment, licenses and usage against contracts Product Assessment Activities Compass Solutions IV&V Team will review the project documentation to assess the degree to which the documents meet system requirements. Our IV&V Team will review phase or iteration dependent documentation using guidelines (i.e., checklists) for internal consistency, technical adequacy (e.g., requirements are unambiguous and testable), completeness, traceability to and consistency with higher level documentation, feasibility, and appropriate level of detail. As a minimum, the IV&V Team will evaluate planning, requirements, design, and test products. Optional tasks may include the review of selected code and/or user documentation. As the product is examined, deviations, deficiencies, and errors will be documented on a comment form. The following will be the evaluation criteria appearing in the checklists for Florida information technology projects: Adherence to Required Format and Documentation Standards Compliance with Contractual Requirements. Internal Consistency Understandability Technical Adequacy Appropriate Degree of Completeness Traceability to Indicated Documents Consistency with Indicated Documents Feasibility Appropriate Requirement Analysis, Design, Coding Techniques Used to Prepare Item Appropriate Level of Detail Adequate Test Coverage of Requirements Adequacy of Planned Tools, Facilities, Procedures, Methods and Resources Appropriate Content for Intended Audience Testability of Requirements Consistency between Data Definition and Data Use Page 2 of 5

3 Adequacy of Test Descriptions/Procedures (Test Inputs, Expected Results, Evaluation Criteria) Completeness of Testing Adequacy of Re Risk Analysis Compass Solutions IV&V Team will assess the target system functions for criticality and risk. Criticality analysis will be based on the potential consequences associated with an error in or failure of the function. Risk assessment will be based on the likelihood of an error in or failure of the function. Our IV&V Team will document the assessment rationale and rank both criticality and risk. The results of this analysis will be used to identify catastrophic, critical, and high-risk functions and to focus IV&V resources on the most critical aspects of the system design. Our IV&V Team will verify and validate proposed approaches for reducing technical, schedule, and cost risks. Our IV&V Team will also perform continuous technical and programmatic risk analysis of the state of Florida IT infrastructure s new projects and upgrades. At each major milestone, our IV&V Team will perform a formal risk analysis, while conducting brainstorming sessions to review and rank potential risks to the program, and highlighting those requiring immediate attention. Our IV&V Team will also assist in the preparation of risk mitigation plans, track progress towards abatement, and assist in technical and programmatic issue resolution as tasked by the Florida information technology project. Compass Solutions IV&V Risk Register will be used to track project risks and provide feedback to the developer and Florida information technology projects. This formal process will: Identify issues that are project risks, Keep all identified risks easily visible at all times, rather than just those risks that are high profile at any given time, Encourage the creation of strategies to keep risks from negatively impacting the project, Track the risks to determine if the risk exposure changes with time, Track the risks to ensure they are addressed, Provide a framework for future improvement Test and Validation Validation and product pillar ensures that system being developed accomplishes its intended requirements, and also validate that the product being developed does what the user is expecting it to do. Some components of Validation and Testing include: Unit Validates that individual units of product are working as designed 3 Integration Units of product are combined and tested as a group Function - Involves validating product functionality requirements System Testing of both hardware and software on a completely integrated system User acceptance Black-box of product functionality to obtain release acceptance Monitor System Development and Test This task includes the overall assessment of the target system requirements, design and test. Our IV&V Team will perform analyses to ensure that the requirements form a solid basis for design. These analyses include requirements traceability to both the system design and test, as well as interface definition assessments. The architecture design as well as prototype efforts (e.g., Human Computer Interface) may be assessed by the IV&V Team. Our IV&V Team will perform analysis of appropriate sections (e.g., those deemed to be critical ) of the source code to verify correct, complete and accurate implementation of the software requirements and design specifications and will assess the maintainability and reliability of the code. Our IV&V Team will analyze the test program to assess complete and adequate test coverage; validity of the test definition; proper acceptance criteria; sufficient planning of tools, facilities, procedures, methods and resources; adequate planning for regression ; and correct and complete traceability with test documents. Our IV&V Team will analyze the test documentation to verify that the requirements are correctly and completely addressed and trace to all of the specified requirements. Our IV&V Team may Page 3 of 5

4 recommend specific changes to the test plans and procedures whenever defects are identified. Compass Solutions IV&V Team may recommend selected test scenarios to be monitored and specific test results to be independently analyzed. The IV&V Team will assess the results of formal of requirements and any issues or problems resulting from the verification. Our IV&V Team will witness developer of the target system as directed by the state of Florida. Our IV&V Team will observe to confirm that the tests are conducted in accordance with approved test plans and procedures Independent Testing Compass Solutions IV&V Team will perform an independent test assessment of the development project as directed by the state of Florida. Our IV&V Team will generate the test plan, test design, test suites, and test procedures in preparation for IV&V. We will perform independent to validate that the target system meets its critical requirements. This independent will complement rather than duplicate the developer s. Our IV&V Team will provide the results of independent to the state of Florida, as well as to the developer. Our IV&V Team will submit reports to the developer of any anomalies detected during independent. These incident reports should be entered by the developer into the developer s configuration management system and also tracked independently by our IV&V Team to closure. Upon resolution of the anomaly, our IV&V Team will monitor the implementation and re of the fix. Our IV&V Team may perform independent regression as an optional task Metrics Analysis Compass Solutions IV&V Team will use software metrics in predicting the system s ability to comply with requirements and schedules. We will review proposed software progress and quality metrics for conformance to sound software engineering principles as well as to the state of Florida s reporting requirements. Some of the technical metrics may include software development and test schedule metrics, and software error reporting IV&V Assessment Project Review The IV&V Assessment Project Review in addition to summarizing the recommendations and findings from the IV&V process also identifies Lessons Learned as well defines framework for ongoing support. Some components include: Final report of the assessment, findings and systems, process and platform deficiencies A Summary of recommendations and a framework for monitoring the implementation of recommendations Framework for continuing to provide ongoing as needed operational IV&V support throughout the System Development Life Cycle. Compass Solutions proactive approach works to reduce risk and cost; and to ensure a project's schedule and quality are achieved. For Compass Solutions, IV&V is not just and editing, it includes a full range of services and support for our government customers. Verification determines whether or not a system or product meets all specified step/phase requirements and the project is ready to advance in the project's lifecycle. IV&V exposes, for instance, requirement inconsistencies and design errors early in the development process when errors are less expensive to correct. Verification also examines test preparedness, e.g., all requirements are included in the test cases. Validation determines whether or not the system achieves the specified functional and performance levels in a reliable and efficient manner. IV&V helps ensure all products and documentations comply with the system and programmatic requirements. Compass Solutions uses its well-established management and engineering methodologies to review, analyze, and test a system or project management operation throughout the system lifecycle, usually tied to internal standards published by the State of Florida, and external standards, such as SEI CMMI. This methodology detects problems and deficiencies early in the lifecycle to decrease the cost of corrections and products, and to ensure the project's management and final products meet contractual, performance, integrity, reliability, supportability, and quality requirements. Page 4 of 5

5 Our approach combines a proven, structured methodology with innovative automated tools. We provide a comprehensive, integrated framework of services that relies on: An expert staff with a broad spectrum of technical and management disciplines and extensive government and industry evaluation and authentication expertise. Compass Solutions has an in-depth knowledge of industry standards and best practices such as ISO, NIST, and IEEE. We pride ourselves on rigorous processes and procedures based on standard industry evaluation and authentication approaches. Compass Solutions knows IV&V is not only a set of evaluation (e.g., assessment, review and analysis) activities, but a set of functions that occur within the context of a whole project and customer organization. The three parties (Government [the state of Florida], Modernization Contractor, and Compass Solutions (QA, IV&V or ) are parts of the entire process, and if they function well together, the prospect for a completely successful system delivery and operation are enhanced. Our personnel at Compass Solutions are able to meet the requirements of each IV&V program, including this project based on the level of qualification and experience, most of our personnel have one or a combination of the following certification: the Certified Information Systems Auditor (CISA) and Certified Software Quality Engineer (CSQE) for IV&V, the Certified Information Systems Security Professional (CISSP) and Certified Information Security Manager (CISM) for Security, and the Project Management Professional (PMP) or comparable certifications. In some cases we substitute the above certifications for years of experience Methods of Quality Assurance Formal quality management programs cover work over the life cycle of a task from requirements definition through delivery of the product. Compass Solutions Project Manager ensures not only that the project team understands the contract requirements and the customer s expectations, but both can be met also. Task leaders are responsible for maintaining close contact with their customer to maintain agreement on the definition of the deliverables. Following techniques are used in general for assuring quality in processes and products: Peer Review - It is a practice at Compass Solutions to perform peer review of every product. Peer review means that a different person than who generated it reviews every product. This gives an independent scrutiny by another person who is knowledgeable in the subject area. Questions are raised and resolved driving out the inadequacies of the product. Management Review: A senior level person knowledgeable in the subject matter performs management review. This person has a different perspective, as he/she is not only looking at the technical aspects but also how this product is to be received by the customer by looking at customer focus, corporate focus and overall quality of the product. Chances are that products become better after the issues raised by management review are resolved. Besides management review, corporate quality assurance officer will be involved in assurance the quality of our products and processes. He will be involved in each project s quality assurance in several ways; periodic quality review of the projects, feedback from the customers and coordinating corrective and preventive initiatives, ensuring project team understand the quality aspects of the project, tailoring quality assurance plan for each project. Quality Assurance Plan: This plan is an in-house document used for each project. The QA plan is a tailored version of our general QA plan to specifically address the quality aspects of each project. This effort ensures that the employees clearly understand the customer s expectations and requirements. Interaction with the customer and within the team organization continues as the work progresses towards task completion. The project manager interacts personally with employees to ensure team focus, timeliness and responsiveness. Review of deliverables begins at the start of the task. The Project Manager is responsible for giving feedback on the quality of service and deliverables, which helps the team to improve their performance. Page 5 of 5

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